Advisory Compliance Officer Global Markets ITS # 105690
Credit Suisse -
January 4, 2018
London, United Kingdom
Providing advisory compliance support to the Equity Derivatives; Investor Products, Financing and Macro businesses. Examples of advisory matters include:
New business projects relating to specific transaction
Business specific initiatives such as new product launches
Participating in and / or in the development governance processes
Business catch ups with Senior Management (Trading, Sales, COO)
Providing advice on the application of global compliance policies, exchange rules and regulations
Advising on new and existing products and all regulatory activities relating to product design and distribution specifically, retail and institutional product governance, inducements, conflicts of interest, distributor due diligence questionnaires
The review of product/service-related materials such as marketing materials, term sheets, presentations and product brochures and disclosures relating to inducements
Working with Legal, Compliance colleagues and other support staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters
Liaising with Core Compliance colleagues on ABC, Cross Border, Control Room (MNPI / restricted) Financial Crime matters
Reviewing regulatory changes affecting the ITS businesses, ensuring appropriate collaboration across General Counsel, Shared Services and the Business and assisting the business with implementing the new regulation in a robust and controlled manner
Identifying regulatory or reputational risks and escalating to management for resolution
Acting as a challenge and control function to the Business on compliance related matters including undertaking Compliance testing / quality assurance of certain processes and activities that pose risk which have been identified via the Compliance Risk Assessment or by the business
Assist in the preparation off / delivery of regulatory training to the business
Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business
Open to discussing flexible/agile working.
You Offer Qualifications / Skills/ Experience
Prior Compliance experience in sell side Equity Derivatives / fixed income coverage.
Prior knowledge and understanding of OTC Derivative products from a retail and institutional distribution perspective.
Degree educated or equivalent and financial services industry qualifications preferable.
Excellent written and communication skills.
Good knowledge of UK and European regulation and environment.
Ability to think outside the box and provide creative solutions.
Be able to multi task, prioritize and work to deadlines in a pressurized environment.